| 21-00029 | 07/22/2021 | Claimant(s): Elizabeth Fox
Claimant Lawyers(s): John H. Griffing
Respondent(s): Money Concepts Capital Corp.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
|  | Dismissed by Rule 12206 |
| 17-01680 | 09/20/2018 | Claimant(s): Diana Needham
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Geoffrey Frazier, Timothy Lyle
Respondent Lawyers(s): Brian A. Carlis, Debra A. Jenks
Arbitrator(s): Leonard E. Benade, Muriel Desloovere, Michael J. Pasquale
Hearing Site: Raleigh, NC
| | Expungement |
| 17-00212 | 06/28/2017 | Claimant(s): Javed Maniya
Claimant Lawyers(s): Javed Maniya
Respondent(s): OptionsHouse
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $0 |
| 14-01708 | 02/09/2017 | Claimant(s): Joe Poteat
Claimant Lawyers(s): Neil A. Riemann
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Leonard E. Benade, Lynne T. Albert, James Risen Gard
Hearing Site: Charlotte, NC
| | $0 |
| 16-00229 | 10/13/2016 | Claimant(s): Hagar Jackson
Claimant Lawyers(s): Robert D Rouse
Respondent(s): John Matta, Edward Jones
Respondent Lawyers(s): Robert J. Osdieck
Arbitrator(s): Leonard E. Benade
Hearing Site: Raleigh, NC
| | $8,718 |
| 14-00248 | 08/14/2014 | Claimant(s): Eric Neumann
Claimant Lawyers(s): Eric V Neumann
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leonard E. Benade
Hearing Site: Birmingham, AL
| | $425 |
| 12-03850 | 05/01/2014 | Claimant(s): Joseph Barr
Claimant Lawyers(s): Joseph Barr
Respondent(s): Wells Fargo Advisors, Jennifer Oravsky, Michael Absher
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Leonard E. Benade
Hearing Site: Raleigh, NC
| | $0 |
| 11-04134 | 07/01/2013 | Claimant(s): Randall Strider, Roland Stout, Randy and Randy.
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | Expungement |
| 10-05827 | 04/29/2013 | Claimant(s): Naomi Bowling, Richard Bowling
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric M. Morris
Arbitrator(s): Leonard E. Benade, Patricia Ann Tracey, Mary B. Campbell
Hearing Site: Charlotte, NC
| | $0 |
| 12-03541 | 04/09/2013 | Claimant(s): Lisa Davis
Claimant Lawyers(s): Jennifer G. Lloyd
Respondent(s): LPL Financial LLC, Michael Curran
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Leonard E. Benade
Hearing Site: Columbia, SC
| | $213 |
